-
Latest SEC News- SEC Announces Enforcement Results for Fiscal Year 2024 November 22, 2024
- SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports November 22, 2024
- UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit November 22, 2024
- SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud November 21, 2024
- SEC Chair Gensler to Depart Agency on January 20 November 21, 2024
Category Archives: Business Formation
A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum
As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Comments Off on A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum
SEC Annual Forum on Small Business Capital Formation: Ground Hog Day for Small Biz?
Many of us are wondering when, if and how the SEC will finally roll out final regulations to implement major provisions of the JOBS Act of 2012, including Title III (investment crowdfunding) and Title IV (Regulation A+). So too were … Continue reading
Posted in Business Formation, Capital Raising, Crowdfunding, General, SEC Developments
Comments Off on SEC Annual Forum on Small Business Capital Formation: Ground Hog Day for Small Biz?
Small Business v. State Blue Sky Regulation – Sunny Days Ahead in 2015?
Groundhog Day is celebrated annually on February 2. As folklore goes, if it is cloudy when a groundhog emerges from its hole on this day, Spring will come early; if it is sunny, the groundhog will see its shadow and … Continue reading
Posted in Business Formation, Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged blue sky regulation, candace klein, Crowdfunding Plus, CrowdfundingPlus, equity crowdfunding, JOBS Act, NASAA, Ohio Securities Commission, proposed SEC rules, Regulation A, samuel guzik, sec, SoMoLend
Comments Off on Small Business v. State Blue Sky Regulation – Sunny Days Ahead in 2015?
Dawn of a New Era: SEC Chair White Speaks to Small Business
In a speech delivered on January 27 by SEC Chair Mary Jo White at the 41st Annual Securities Regulation Institute in Coronado, California, entitled: “The SEC in 2014,” it appears that Chair White has “gotten the memo” from her predecessors, and is … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged california securities attorney, crowdfunding attorney, crowdfunding lawyer, Crowdfunding Plus, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed rules, proposed sec crowdfunding rules, proposed SEC rules, Regulation A, samuel guzik, SEC crowdfunding regulations, small business, Title III, Title IV
Comments Off on Dawn of a New Era: SEC Chair White Speaks to Small Business
THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE
In a previous article I identified a number of serious problems with the SEC’s proposed crowdfunding regulations. I also promised readers to share my opinions on what can and should be done by crowdfunding supporters to fix the problems – … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Crowdfunding, General, SEC Developments, Uncategorized
Tagged accredited investors, california securities attorney, Crowdcheck, Crowdfunding, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, Dan Gallagher, equity crowdfunding, investment crowdfunding, JOBS Act, Kim Wales, Los Angeles securities attorney, Los Angeles Securities Lawyer, proposed crowdfunding rules, proposed rules, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, proposed SEC rules, samuel guzik, sec, SEC crowdfunding regulations, securities attorney, securities lawyer
Comments Off on THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE
On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?
Behind the unanimous vote that accompanied the SEC’s issuance of proposed crowdfunding regulations on October 23, 2013, I sensed that there was more afoot behind the congenial surface. It seemed unlikely to this Commission observer that the sharp divisions amongst … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, Crowdcheck, Crowdfunding, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, Dan Gallagher, equity crowdfunding, JOBS Act, Los Angeles securities attorney, Los Angeles Securities Lawyer, proposed crowdfunding rules, proposed rules, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, proposed SEC rules, samuel guzik, sec, SEC crowdfunding regulations, securities attorney, securities lawyer
Comments Off on On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?
Regulation (C)rowdfunding Day – The Morning After
[Following is a reprint of an article written by me for my Legal Column, The Crowdfunding Counselor™, on CrowdfundInsider, published on October 24, 2013] First in a Series of Articles Focusing on the Road Ahead to Final Rules and Beyond … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, Uncategorized
Tagged accredited investors, california securities attorney, Crowdfunding, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, final SEC rules, Guzik and Associates, investment crowdfunding, JOBS Act, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, proposed SEC rules, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, The Crowdfunding Counselor
Comments Off on Regulation (C)rowdfunding Day – The Morning After
Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas
It’s pretty easy to make a case against equity crowdfunding: Startups are risky investments – most will fail, and investors will lose their money. Crowdfunding will be a magnet for fraud, drawing phony and exaggerated investment schemes. The goal of … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged california securities attorney, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, equity crowdfunding, final SEC rules, general solicitation, Guzik and Associates, IKE, Invest Kansas Exemption, JOBS Act, New York Times, private placements, proposed SEC rules, regulation d, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer
Comments Off on Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas
Equity Crowdfunding – The Road Ahead at the SEC and Beyond
Equity crowdfunding, hoped by many to be a promising new vehicle for capital formation for startups and other early stage companies, has yet to become operational under the JOBS Act – waiting on the SEC to promulgate proposed and final … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, Crowdcheck, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, equity crowdfunding, final SEC rules, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, regulation d, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, startups
Comments Off on Equity Crowdfunding – The Road Ahead at the SEC and Beyond
SEC Issues Final JOBS Act Regulations Allowing Public Solicitation of Investors in Private Placements Under Rule 506 of Regulation D; New Proposed Regulations Regulating Rule 506 Private Placements Also Issued for Public Comment on July 10, 2013
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation. One of the more significant changes to existing law was a directive to the … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, final rules, final SEC rules, general advertising, general solicitation, Guzik and Associates, JOBS Act, LegalZoom, private placements, proposed rules, proposed SEC rules, public advertising, public solicitation, regulation d, Rule 506, samuel guzik, sec, SEC attorney, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, startup attorney, startup lawyer
Comments Off on SEC Issues Final JOBS Act Regulations Allowing Public Solicitation of Investors in Private Placements Under Rule 506 of Regulation D; New Proposed Regulations Regulating Rule 506 Private Placements Also Issued for Public Comment on July 10, 2013